Enforcement

For willfully failing to amend her Form U4 to reflect four civil judgments, in violation of Rule 2110 and IM-1000-1, and failing to timely and fully respond to FINRA requests for information, in violation of Rules 8210 and 2110, Respondent shall be suspended, in all capacities, for two concurrent two-year terms, and fined $2,500 for each of the two charges, payable upon re-entry into the industry.